| 10-04246 | 09/16/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Larry Lipka
Respondent(s): Richard Turnley
Respondent Lawyers(s): Richard Turnley
Arbitrator(s): Mark A. Myers
Hearing Site: Atlanta, GA
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| 11-00284 | 09/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Carl Drury
Respondent Lawyers(s): Carl M. Drury
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
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| 10-05747 | 08/29/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Russell Hill
Respondent Lawyers(s): Russell Marvin Hill
Arbitrator(s): W. William Harness
Hearing Site: Atlanta, GA
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| 11-02557 | 08/29/2011 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christoper A. Pickett
Respondent(s): Joseph Emily, Judson Doster, Morgan Stanley, Richard Phelan
Respondent Lawyers(s): M. Travis Foust, Michael D. Bressan
Arbitrator(s): Robert H. Putnam, Robert C. Port, Joseph Keith Lombino
Hearing Site: Atlanta, GA
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| 10-03974 | 08/23/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Brian R. Mills
Respondent(s): William Griffin
Respondent Lawyers(s): R. Hal Meeks
Arbitrator(s): Robert H. Putnam, Patrick L. Bellantoni, Andy W. Morgan
Hearing Site: Atlanta, GA
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| 10-02653 | 08/18/2011 | Claimant(s): Larry Merritt
Claimant Lawyers(s): Regina S. Molden
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Franklin Raymond McIntyre, John F. Allgood, John F. O'Neill
Hearing Site: Atlanta, GA
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| 11-00488 | 07/22/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): David Bayer
Respondent Lawyers(s): David R. Bayer
Arbitrator(s): Irving M. Shlesinger
Hearing Site: Atlanta, GA
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| 10-05147 | 06/20/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Keith Anderson
Respondent Lawyers(s): Keith G. Anderson
Arbitrator(s): J. Maxwell Williams
Hearing Site: Atlanta, GA
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| 09-07226 | 05/31/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Kenneth Walters
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Judith Stilz Ogden, Harvey R. Linder, William Clay Gilbert
Hearing Site: Atlanta, GA
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| 10-03177 | 05/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): David Baum
Respondent Lawyers(s): John H. Peavy
Arbitrator(s): Frank W. Virgin, Cheryl A. Hooks, John F. O'Neill
Hearing Site: Atlanta, GA
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